Policy-based selection of remediation

ABSTRACT

Methods and systems for remediating a security policy violation on a computer system are provided. According to one embodiment, an agent running on an endpoint system collects information regarding a program-code-based operational state of the endpoint system. The agent transmits the information to a remote computer system via a network coupling the endpoint system and the remote computer system in communication. The remote computer system enforces one or more security policies with respect to the endpoint system based on the received information.

CROSS-REFERENCE TO RELATED APPLICATIONS

This application is a continuation of U.S. patent application Ser. No.14/016,091, filed Aug. 31, 2013, which is a continuation of U.S. patentapplication Ser. No. 13/715,017, filed Dec. 14, 2012, now U.S. Pat. No.8,561,134, which is a continuation of U.S. patent application Ser. No.12/640,908, filed Dec. 17, 2009, now U.S. Pat. No. 8,341,691, which is acontinuation of U.S. patent application Ser. No. 10/933,504, filed Sep.3, 2004, now U.S. Pat. No. 7,665,119, all of which are herebyincorporated by reference in their entirety for all purposes.

BACKGROUND

1. Field

Embodiments of the present invention generally relate to the field ofremediation. In particular, embodiments of the present invention relateto collecting and reporting of parameter values by a security agentinstalled on an endpoint device that collectively characterize anoperational state of the endpoint device to a remote device thatenforces security policies with respect to the endpoint device based onone or more of the parameter values.

2. Description of the Related Art

Attacks on computer infrastructures are a serious problem, one that hasgrown directly in proportion to the growth of the Internet itself. Mostdeployed computer systems are vulnerable to attack. The field ofremediation addresses such vulnerabilities and should be understood asincluding the taking of deliberate precautionary measures to improve thereliability, availability, and survivability of computer-based assetsand/or infrastructures, particularly with regard to specific knownvulnerabilities and threats.

Too often, remediation is underestimated as merely the taking ofsecurity precautions across a network. While remediation includes suchtaking of security precautions, it is more comprehensive. It is moreaccurate to view the taking of security precautions as a subset ofremediation.

The taking of precautions is typically based upon policies. Suchpolicies are typically based upon security best practices, e.g., a usershall not install his own software, and/or corporate best practices,e.g., a password must be 8 characters in length. To the extent thattaking of precautions is automated, the automation typically samples thevalue of one or more parameters at a given point in time. Then thevalues of one or more parameters are presented to a user to assesswhether the sampled values pose a cause for concern in the context ofany policies which are in place.

SUMMARY

Methods and systems are described for remediating a security policyviolation on a computer system. According to one embodiment, an agentrunning on an endpoint system collects information regarding aprogram-code-based operational state of the endpoint system. The agenttransmits the information to a remote computer system via a networkcoupling the endpoint system and the remote computer system incommunication. The remote computer system enforces one or more securitypolicies with respect to the endpoint system based on the receivedinformation.

Other features of embodiments of the present invention will be apparentfrom the accompanying drawings and from the detailed description thatfollows.

BRIEF DESCRIPTION OF THE DRAWINGS

Embodiments of the present invention are illustrated by way of example,and not by way of limitation, in the figures of the accompanyingdrawings and in which like reference numerals refer to similar elementsand in which:

FIG. 1 is a block diagram of an architecture for a policy-basedremediation system into which embodiments of the present invention canbe incorporated.

FIGS. 2A, 2B, 2C and 2D are linked database structures illustrating datarelationships in a machine-actionable memory that represent parametersof a host-asset, according to an embodiment of the present invention.

FIG. 3A is a UML-type sequence diagram depicting a first part of amethod of determining which policies are violated, according to anembodiment of the present invention.

FIG. 3B is a UML-type sequence diagram depicting a second part of amethod of determining which policies are violated, according to anembodiment of the present invention.

FIG. 4 depicts a violation table illustrating data relationships in amachine-actionable memory that represent policies that have beenviolated, according to an embodiment of the present invention.

FIG. 5 is a flow diagram illustrating a policy-based method ofremediation selection, and a method of remediation deployment, accordingto an embodiment of the present invention.

FIG. 6A is a survey table illustrating data relationships in amachine-actionable memory that represent survey data from a currentsample, according to an embodiment of the present invention.

FIG. 6B depicts a new-vs-old table, according to an embodiment of thepresent invention.

FIG. 7 depicts a UML-type database structure, entitled ASSET_CHG_LOG(asset change log) that is used to keep a history of changes in thevalue of a parameter, according to an embodiment of the presentinvention.

FIG. 8 depicts a policy information table illustrating datarelationships in a machine-actionable memory that represents whichpolicies are active on which of the various host-assets, according to anembodiment of the present invention.

FIG. 9A is a diagram of a condition-tree, according to an embodiment ofthe present invention.

FIG. 9B is a diagram of another version of the condition-tree of FIG.9A, according to an embodiment of the present invention.

DETAILED DESCRIPTION

Methods and systems are described for remediating a security policyviolation on a computer system.

FIG. 1 is a block diagram of an architecture 100 for a policy-basedremediation system into which embodiments of the present invention canbe incorporated, making system 100 itself represent at least oneembodiment of the present invention.

Architecture 100 can include: a server 102 (having one or moreprocessors 103A, non-volatile memory 103B and other components 103C); adatabase (DB) of remediations 104; a DB of assets 106; a DB of policies106; and a group 108 of networked assets. Generalized networkedcommunication is represented by path 112. Access to entities external toarchitecture 100, e.g., the Internet (item 113) is available via path112.

Server 102 can be a component of the network to which group 108represents assets. Other components 103B typically include aninput/output (IO) unit, volatile memory (e.g., RAM, etc.), non-volatilememory (e.g., disk drives, etc.), etc. DBs 104, 106 and 107 can be localnon-volatile memory resources of server 102.

Examples of assets in group 108 include network-attached storage (NAS)devices 160, routers 162, switches 164, computers (also referred to asPCs) 166, printers 168, etc. Assets in group 108 will be generally bereferred to as host-assets 16X. In group 108, host-assets 16X can begeneralized as devices having some measure of program-code-basedoperation, e.g., software, firmware, etc., which can be manipulated insome way via an instance of a communication, e.g., arriving via path112, and as such can be vulnerable to attack.

Each of the various host-assets 16X in group 108 is depicted as hostinga light weight sensor (LWS) 109. Each LWS 109 and server 102 adopt aclient-server relationship. Operation of each LWS 109 can includegathering information about its host-asset 16X and sending suchinformation to server 102; and receiving remediations in anautomatically-machine-actionable format from server 102 andautomatically implementing the remediations upon its host-asset 16X.

An automatically-machine-actionable remediation can take the form of asequence of one or more operations that automatically can be carried outon a given host-asset 16X under the control of its LWS 109. Suchoperations can be invoked by one or more machine-language commands,e.g., one or more Java byte codes.

Server 102 can evaluate the gathered-information regarding host-assets16X in terms of policies that have been applied, or are active in regardto, host-assets 16X, respectively. Based upon the evaluations, server102 can select remediations and then send them to host-assets 16X,respectively.

Each host-asset 16X is provided with local programs and/or services(hereafter, survey tools) that can collect values of a plurality ofparameters (hereafter, survey data) which collectively characterize anoperational state of host-asset 16X at a particular point in time. EachLWS 109 can invoke such survey tools and/or cooperate with periodicscheduling of such survey tools to obtain the survey data. Then each LWS109 can also transmit the survey data to server 102.

For example, consider LWS 109 of NAS 160, whose transmission of surveydata to server 102 is indicated by a communication path 130 superimposedon path 112 in FIG. 1. Continuing the example, once server 102 hasselected one or more remediations for NAS 160, server 102 deploys theselected remediation(s) to LWS 109 of NAS 160 as indicated by acommunication path 132. The selected remediations can take the form of adeployment package that can include one or moreautomatically-machine-actionable actions, e.g., a set of one or moreJava byte codes for each automatically-machine-actionable action. It isnoted that, for simplicity of illustration, only NAS 160 is depicted inFIG. 1 as sending survey data and receiving a deployment package. It isto be understood that instances of paths 130 and 132 would be presentfor all LWSs 109.

Next, details as to the gathering of information will be discussed andexamples of policies provided, followed by discussion of how violationsof policies can be automatically determined, and how correspondingremediations can automatically be selected. To accompany the discussion,FIGS. 3A-3B are provided.

FIGS. 3A-3B are a UML-type sequence diagrams depicting a method ofdetermining which policies are violated, according to at least oneembodiment of the present invention.

Server 102 and each LWS 109 can, e.g., be provided with services (notdepicted in LWSs 109 but see corresponding communication service 170 inserver 102), e.g., J2EE-type services, that carry out communicationtherebetween. For example, see message 304 in FIG. 3A sent from a giveninstance of LWS 109 to communication service 170.

Survey data from an instance of LWS 109 (which is transferred via path130) can be formatted in a variety of ways. For example, within thesurvey data, a portion representing a particular parameter can bepreceded by a service key, e.g., a string of data that denotes theservice on host-asset 16X that collected the portion. Server 102 can beprovided with a parser service 172, a J2EE-type service, that can parsethe survey data. In the context of FIG. 3A, communication service 170can pass the survey data to parser server 172 at message 306.

Parser service 172 can sequentially examine the survey data, looking forpairs of service keys and associated data portions. Continuing theexample, parser service 172 can recognize a service key (k), recognizeas being associated therewith a data portion (k), e.g., found betweenservice key (k) and a subsequent service key (k+1), and call aninterpretation service (not depicted) corresponding to service key (k)to interpret data portion (k). Parser service 172 can take the output ofthe respective interpretation services and build a survey table of newparameter values. This can be an iterative process. One of ordinaryskill in the art would understand that there are other ways to processthe survey data.

In the context of FIG. 3A, such an iterative loop is denoted by item No.308 and is given the label “*[PAIR(i), i.ltoreq.M−1, FOR M PAIRS].” InUML notation, the asterisk (*) denotes iteration, and iteration of loop308 will continue while the statement within the square brackets istrue. Here, the statement for loop 308 indicates that looping iteratesfor each PAIR(i) of a service key and its related portion of the surveydata (or, in other words the i.sup.th PAIR) while (so long as) thevariable, i, is less than or equal to M−1 (namely, i.ltoreq.M−1). Theboundary M denotes the total number of pairs of service keys and relateddata present in the survey data.

At self-message 310 in FIG. 3A, parser service 172 can parse the surveydata to obtain the i.sup.th pair, also known as PAIR(i). At message 312,parser service 172 calls an interpretation service according to thevalue of the service key in PAIR(i). Hence, such an interpretationservice is generally referred to as an i.sup.th interpretation service180 in FIG. 3A. At message 314, i.sup.th interpretation service sendsback interpreted data to parser service 172. In response, at message316, parser service 172 can create survey table 602 if this is the firstpass through loop 308 and survey table 602 does not yet exist.Otherwise, if survey table 602 already exists, then parser service 172can append the interpreted data to survey table 602.

FIG. 6A is an example of a survey table 602 illustrating datarelationships in a machine-actionable memory that represent new surveydata from the present sample, according to at least one embodiment ofthe present invention.

More particularly, survey table 602 illustrates data relationshipscreated by parser service 172, e.g., in volatile memory 103B, based uponthe survey data, according to at least one embodiment of the presentinvention. As such, survey table 602 illustrates a particular type ofmachine-actionable memory arranged according to a particular datastructure.

Survey table 602 can be described as a CE_ID:PARAM:NEW:OLD mapping,where CE_ID is an acronym for an identification (ID) of a given LWS 109loaded on a given host-asset 160X, and where each instance of ahost-asset 16X can be described as a client environment (CE). Each rowof table 602 can include: a CE_ID field; a PARAM field (name ofparameter); a NEW field (new value of the parameter); and an OLD field(old value of the parameter). Each row of table 602 represents a mappingbetween a value for the CE_ID, a name or identification (ID) of aparameter, a new value thereof obtained during the present sampling (k)by the survey tool(s), and an old value thereof obtained during apreceding sampling (e.g., k−1).

Here, continuing the example of survey data from path 130, it is assumedthat NAS 160 has CE_ID=160.sub.—999 for (merely) the purposes ofillustration. As will be discussed below, values of many different typesof parameters are gathered from the various host-assets 160X,respectively. Further continuing the example of survey data from path130, survey table 602 assumes that the survey data includes: theparameters CPU_CNT, PROCESS_NAME, DOM_NAM and OS_TYPE as being reportedin the survey data; and the corresponding values 1, Outlook®, acct(abbreviation for account) and Windows® 2000, respectively. Initially,null values are stored in the OLD fields. Typically, many otherparameters will be present in the survey data and reflected in table602. Here, only four samples of parameters and values thereof arepresented, for simplicity of illustration.

Server 102, e.g., via parser service 172, can then assess whether therehas been a change in the values of the parameters in the survey datafrom the present sample (k) relative to a preceding sample, e.g., theimmediately preceding sample (k−1). This can be done by server 102querying asset DB 106 for all parameter records that pertain to a givenhost-asset 16X, and then comparing the new values (k) against the oldvalues (e.g., k−1) to identify those that have changed. An architecturefor DB 106 will now be discussed.

FIGS. 2A, 2B, 2C and 2D are linked database structures illustrating datarelationships in a machine-actionable memory, e.g., asset DB 106, thatrepresent parameter values for the various host-assets 160X, accordingto at least one embodiment of the present invention.

More particularly, FIG. 2A depicts an asset-parameter (ASSET_PARAMETER)database structure 202. As such, database structure 202 illustrates aparticular type of machine-actionable memory arranged according to aparticular data structure.

Unlike survey table 602, database structure 202 (and also databasestructures 204-228) are depicted as UML-type database structures. Thisshould be understood to mean that database structure 202 represents anat least M×N array, e.g., M rows and N columns where M and N areintegers. A row (not depicted) of the array denoted by databasestructure 202 corresponds to parameter values of a given host-asset 16X.The columns (not depicted) of the array denoted by database structure202 correspond to various parameters. The N labels in box 203 denote theparameters, and hence there is a column in the array denoted by databasestructure 202 for each label in box 203.

Box 203 indicates that database structure 202 can include, e.g., thefollowing parameters: CE_ID (again, the ID of the particular instance ofLWS 109); DATE_CREATED (date that the asset was created); DATE MODIFIED(last date that the asset was modified); MODIFIED_BY (who modified theasset); BOOT_TIME (time at which the most recent boot-up occurred);OS_TYPE (type of operating system); OS_VERSION (version of the operatingsystem); CONNECTED_IP_ADDRESS (IP address assigned to host-asset 160X);HOST_NAME (name of host-asset 160X); CONNECTED_MAC_ADDRESS (MAC addressassigned to host-asset 160X); SERIAL_NO (serial number assigned tohost-asset 160X); DOM_NAM (domain name of host asset 160X); DNS_NAME(DNS name assigned to host asset 160X); DHCP_ENABLED (is DHCP, namelydynamic host control protocol, enabled?); BIOS_MFG (name of themanufacturer of the BIOS); BIOS_VERSION (version of the BIOS); CPU_CNT(number of processors); CPU_FAMILY (processor's family of architectures,e.g., Centrino®; CPU_MODEL (model of processor); CPU_SPEED (speed ofprocessor); CPU_UTILIZATION (percentage utilization of the processor);HD_FREE (free space on the hard disk); HD_TOTAL (total space of the harddisk); RAM_PAGE (page size for RAM); RAM_TOTAL (total size of RAM);RAM_VIRTUAL (amount of virtual RAM); RAM_UTILIZATION (percentageutilization of RAM); RM_ACTION_ALLOWED (remote actions allowed);SURVEY_INTERVAL (interval of at which sampling to obtain survey datatakes place); MOST_RECENT_SURVEY (DTS, namely date-time stamp, of mostrecent survey data); and TRANSACT_CTL_NUM (a surrogate key to uniquenessof rows in database structure 202).

One of ordinary skill in the art will recognize that values for thoseparameters listed by box 203 of database structure 202, a subset thereofand/or other parameters can be gathered by the survey tools. Appropriatesets of parameters depend upon the nature of the technology found inhost-assets 16X, the granularity of information which an administratorof architecture 100 desires, etc. The same is true for databasestructures 204-228.

FIG. 2A also depicts UML-type database structures 204-228. FIG. 2B is aversion of FIG. 2A that depicts database structures 204, 206, 208, 212and 214 in more detail and database structure 202 in less detail. Assuch, each of database structures 204, 206, 208, 212 and 214 illustratesa particular type of machine-actionable memory arranged according to aparticular data structure.

Consider, for example, database structure 204, which is entitledasset-user (ASSET_USER). Each row in database structure 204 can includea CE_ID field (used as a foreign key relative to database structure204), a USER_NAME field (user's name), and a TRANSACT_CTL_NUM field. Itshould be understood that multiple users can potentially use a givenhost-asset 16X, most with permission but some possibly withoutpermission. Hence, different rows in the array represented by databasestructure 204 can identify different users of the various host-assets16X, respectively.

Database structure 204 is connected to database structure 202 via a paththat terminates in a open diamond (.diamond.) at database structure 202.The open diamond denotes aggregation. In terms of ASSET_USER databasestructure 204, multiple instances or values of the parameter USER_NAMEcan exist for a given asset many of whose parameters are stored inASSET_PARAMETER database structure 202. Such aggregation also caninclude the characteristic that if rows for a given asset are deleted inASSET_PARAMETER database structure 202, then the corresponding one ormore rows in ASSET_USER database structure 204 are not necessarilydeleted as a consequence. Each of database structures 206-228 is alsoconnected to database structure 202 via a path that terminates in a opendiamond (.diamond.) at database structure 202.

Database structure 206 is entitled asset-user-group (ASSET_USER_GROUP).Each row in database structure 206 can include: a CE_ID field (used as aforeign key relative to database structure 204); a GROUP_NAME field(user-group's name); and a TRANSACT_CTL_NUM field. Database structure206 is an accommodation for the possibility that multiple user-groupscan be given permission to use a given host-asset 16X. Different rows inthe array represented by database structure 206 can identify differentuser groups for the various host-assets 16X, respectively.

Database structure 208 is entitled asset-user-account(ASSET_USER_ACCOUNT). Each row in database structure 208 can include: aCE_ID field (used as a foreign key relative to database structure 204);a USER_NAME field (user's name); a password (PASSWORD) field; aDOMAIN_USER field (user's domain); a LOGIN_TIME field (time of mostrecent login); LOGOUT_TIME field (time of most recent logout); and aTRANSACT_CTL_NUM field. Database structure 208 can store informationabout the activity of the multiple users that can be given permission touse a given host-asset 16X. Different rows in the array represented bydatabase structure 208 can store data regarding different users'activity on the various host-assets 16X, respectively.

Database structure 212 is entitled asset-process (ASSET_PROCESS). Eachrow in database structure 212 can include: a CE_ID field (used as aforeign key relative to database structure 204); a P_ID field (ID ofprocess); a PROCESS_NAME field (name of process); and a TRANSACT_CTL_NUMfield. Database structure 212 is an accommodation for the possibilitythat multiple processes can be running on a given host-asset 16X.Different rows in the array represented by database structure 212 canstore data regarding different processes running on the varioushost-assets 16X, respectively.

Database structure 214 is entitled asset-file (ASSET_FILE). Each row indatabase structure 214 can include: a CE_ID field (used as a foreign keyrelative to database structure 204); a PARENT_DIRECTORY field (path tofile location); a FILE_NAME field (name of file); an IS_DIRECTORY field(is file actually a directory?); a PERMISSION field (read/writepermission, DTS, etc.); and a TRANSACT_CTL_NUM field. Database structure214 is an accommodation for the possibility of desiring to determine thepresence of a particular file in a given location, the status of thefile's permissions, etc. Hence, rows in the array represented bydatabase structure 214 can store information about various files thatare loaded on the various host-assets 16X, respectively.

FIG. 2C is a version of FIG. 2A that depicts database structures 210,216 and 218 in more detail and database structure 202 in less detail. Assuch, each of database structures 210, 216 and 218 illustrates aparticular type of machine-actionable memory arranged according to aparticular data structure.

Database structure 210 is entitled asset-hard-drive (ASSET_HARD_DRIVE).Each row in database structure 210 can include: a CE_ID field (used as aforeign key relative to database structure 204); a NAME field (harddrive name); a TYPE field (type of hard drive); a CAPACITY field(storage capacity of the hard drive); a SERIAL_NO field (serial numberassigned to the hard drive); a FILE_SYSTEM field (type of file system towhich the hard drive is configured); a USED_SPACE field (amount ofstorage used); a FREE_SPACE field (amount of storage remaining unused);a COMPRESSED field (are the files compressed?); a LABEL field (labelgiven to the hard drive); a MFG_NAME field (name of the hard drive'smanufacturer); a NO_OF_PARTITIONS field (number of partitions into whichthe hard drive is divided); a SECTORS_PER_TRACK field (number of sectorsper track); a TOTAL_CYLINDERS field (total number of cylinders orplatters); a TOTAL_HEADS field (total number of heads); a TOTAL_SECTORSfield (number of sectors per track); a TOTAL_TRACKS field (total numberof tracks); a TRACKS_PER_CYLINDER field (number of tracks per cylinder);and a TRANSACT_CTL_NUM field. Database structure 210 is an accommodationfor the possibility that there can be multiple hard drives on a givenhost-asset 16X. Different rows in the array represented by databasestructure 210 can store data regarding various hard drives which formparts of the various host-assets 16X, respectively.

Database structure 216 is entitled asset-file-system(ASSET_FILE_SYSTEM). Each row in database structure 216 can include: aCE_ID field (used as a foreign key relative to database structure 204);a VOLUME_NAME field (name of storage volume); a MEDIA_TYPE field (typeof media); a CAPACITY field (storage capacity of the file system); aVOLUME_SL_NO field (volume serial number); a FILE_SYSTEM field (type offile system); a USED_SPACE field (amount of storage in the file systemthat has been used); a FREE_SPACE field (amount of storage in the filesystem remaining unused); a COMPRESSED field (are the filescompressed?); a LABEL field (label given to the file system); and aTRANSACT_CTL_NUM field. Database structure 216 is an accommodation forthe possibility that there can be multiple file systems in use on agiven host-asset 16X. Different rows in the array represented bydatabase structure 216 can store data regarding different file-systemsused by the various host-assets 16X, respectively.

Database structure 218 is entitled asset-application(ASSET_APPLICATION). Each row in database structure 216 can include: aCE_ID field (used as a foreign key relative to database structure 204);a VENDOR field (name of the application's vendor); a PRODUCT field (nameof application); a VERSION field (version of the application); aSERIAL_NUM field (serial number assigned to the application); aLICENSE_NUM field (number of license for the application); a SKU_NUMfield (SKI, namely stock-keeping unit, number); an INSTALL_DATE field(date that the application was installed); and a TRANSACT_CTL_NUM field.Database structure 218 is an accommodation for the possibility thatthere can be multiple applications loaded on a given host-asset 16X.Different rows in the array represented by database structure 218 canstore data regarding different applications loaded on the varioushost-assets 16X, respectively.

FIG. 2D is a version of FIG. 2A that depicts database structures 220,222, 224, 226 and 228 in more detail and database structure 202 in lessdetail. As such, each of database structures 220, 222, 224, 226 and 228illustrates a particular type of machine-actionable memory arrangedaccording to a particular data structure.

Database structure 220 is entitled asset-route-table(ASSET_ROUTE_TABLE). Each row in database structure 220 can include: aCE_ID field (used as a foreign key relative to database structure 204);a TARGET field (address to which communication directed); a GATEWAYfield (gateway through which communication proceeds; a NETMASK field(bit mask used to tell how much of an IP address identifies thesubnetwork that the given host-asset 16X is on and how much identifiesthe host-asset 16X itself); and a TRANSACT_CTL_NUM field. Databasestructure 220 is an accommodation for the possibility that there can bemultiple routes by which communication can be sent from a givenhost-asset 16X. Different rows in the array represented by databasestructure 220 can store information regarding various routes ofcommunication being used by the various host-assets 16X, respectively.

Database structure 222 is entitled asset-ARP-table (ASSET_ARP_TABLE).Each row in database structure 222 can include: a CE_ID field (used as aforeign key relative to database structure 204); an INTERNET_ADDRESSfield (internet address, e.g., IP address, of host-asset 16X involved ina communication); a PHYSICAL_ADDRESS field (address of hardware onhost-asset 16X involved in a communication); a TYPE field (ARP mappingdynamic or static); and a TRANSACT_CTL_NUM field. Database structure 222is an accommodation for the possibility that there can be multiplecomponents on a given host-asset 16X that are engaged in externalcommunication. Different rows in the array represented by databasestructure 222 can store data regarding different various components onthe various host-assets 16X, respectively, that are engaged incommunication.

Database structure 224 is entitled asset-device-driver(ASSET_DEVICE_DRIVER). Each row in database structure 224 can include: aCE_ID field (used as a foreign key relative to database structure 204):a DEVICE_NAME field (name of driver); a DEVICE_TYPE field (type ofdriver); a MFG_NAME field (name of driver's manufacturer); and aTRANSACT_CTL_NUM field. Database structure 224 is an accommodation forthe possibility that there can be multiple drivers loaded on a givenhost-asset 16X. Different rows in the array represented by databasestructure 212 can store data regarding different processes running onthe various host-assets 16X, respectively. Different rows in the arrayrepresented by database structure 224 can store information regardingthe various drivers loaded on the various host-assets 16X, respectively.

Database structure 226 is entitled asset-netstat (ASSET_NETSTAT). Eachrow in database structure 226 can include: a CE_ID field (used as aforeign key relative to database structure 204); a PROTOCOL field (nameof protocol, e.g., TCP, UDP, etc.); a LOCAL_ADDRESS field (port beingused for an instance of communication by a given host-asset 16X); aFOREIGN_ADDRESS field (an address of an entity with which the givenhost-asset 16X is in communication): a STATE field (state, e.g.,listening, of the communication in which an entity on a given host-asset16X is engaged); and a TRANSACT_CTL_NUM field. Database structure 226 isan accommodation for the possibility that there can be multipleinstances of external communication in which components on a givenhost-asset 16X can be engaged. Different rows in the array representedby database structure 226 can store information regarding variousinstances of communication in which the various host-assets 16X,respectively, are engaged.

Database structure 228 is entitled asset-installed-patch(ASSET_INSTALLED_PATCH). Each row in database structure 228 can include:a CE_ID field (used as a foreign key relative to database structure204): a PATCH_NAME field (name of installed patch); a VERSION field(version of the installed patch): an INSTALL_DATE field (date that thepatch was installed); an UNINSTALL_DATE field (date that the patch wasuninstalled); and a TRANSACT_CTL_NUM field. Database structure 228 is anaccommodation for the possibility that there can be multiple patchesinstalled on a given host-asset 16X. Different rows in the arrayrepresented by database structure 228 can store data regarding variouspatches installed on the various host-assets 16X, respectively.

Discussion now returns to parser service 172. To review, parser service172 can query asset DB 106 for all parameter records pertaining to agiven host-asset 16X for which survey data has been received and parsedto form survey table 602. In the context of FIG. 3A, such a query isillustrated as a message 318 from parser service 172 to asset DB 106.

Then parser service 172 can iteratively (e.g., row-by-row for surveytable 602) compare the new parameter values (k) against the oldparameter values (e.g., k−1) to identify those that have changed. Suchan iterative technique is illustrated in FIG. 3A as loop 320. The resultof such an iterative technique (or, in other words, the result of loop320) is that table 602 is converted into what can be described as a newvs. old table.

Loop 320 of FIG. 3A is given the label “*[ROW(i), i.ltoreq.N−1, FOR NROWS IN TBL 602].” Iteration of loop 320 will continue for each ROW(i)of table 602′ while (so long as) the variable, i, is less than or equalto N−1 (namely, i.ltoreq.N−1). The boundary N denotes the total numberof rows in table 602′.

In loop 320, parser service 170 searches through parameter valuesobtained via message 318 for an old value corresponding to the parameterof row(i) of table 602. Next, FIG. 3A illustrates a branching message324. As indicated by the label “[NEW=OLD],” if parser service 170 findsa corresponding old value and if the old value equals the new value,then branch 326A of message 324 is taken, by which parser service 174deletes row(i) from table 602. Else, as indicated by the label“[NEW.noteq.OLD],” if parser service 170 finds a corresponding old valueand if the old value does not equal the new value, then branch 326B ofmessage 324 is taken, by which parser service 174 appends the old valueto the OLD field of row(i) in table 602. If no corresponding oldparameter value is found, then parser service 170 can ignore the newvalue. This could be handled by changing the label of branch 324A to be[NEW=OLD or NEW=NULL].

FIG. 6B depicts such a new versus old (hereafter, new-vs-old) table 602′that illustrates a revised version of survey table 602, according to atleast one embodiment of the present invention. As such, survey table602′ illustrates a particular type of machine-actionable memory arrangedaccording to a particular data structure.

Extending the example of survey data from path 130, it is assumed inFIG. 6B that parser service 172 has: recognized changes in theparameters CPU_CNT, DOM_NAM, and OS_TYPE; appended the corresponding oldvalues thereof; determined that no change has occurred in the parameterPROCESS_NAME; and deleted the row for the unchanged parameterPROCESS_NAME.

After it finishes the iterative new vs. old comparison that results innew-vs-old table 602′, parser service 172 can place a copy of new-vs-oldtable 602′ (or an object representing table 602′) in an asynchronousqueue 173, e.g., a FIFO buffer, for a policy service 174 (to bediscussed below). In the context of FIG. 3B, this is illustrated asmessage 328 from parser service 172 to queue 173. Queue 173 can absorbvariations in the rate at which parser service 172 generates instancesof new-vs-old table 602′.

Substantially concurrently, parser service 172 can (according to thoserows, if any, remaining in table 602′) also overwrite correspondingrecords in database structures 202-228 with the new parameter values andappend new records to an installment history, e.g., as embodied by asuitable database structure on asset DB 106. In the context of FIG. 3B,this is illustrated as message 330 from parser service 172 to asset DB106.

FIG. 7 depicts an example of a suitable UML-type database structure 702,entitled ASSET_CHG_LOG (asset change log) that is used to keep thehistory of changes in the value of a parameter, according to at leastone embodiment of the present invention. Each row in database structure228 can include: a CE_ID field (used as a foreign key relative todatabase structure 204); a TABLE_NAME field (name of the primary tablein which the parameter is tracked); a COLUMN_NAME field (name of theparameter); a RECORD_ID field (value of the TRANSACT_CTL_NUM field inthe primary table); a CHANGE_DATE field (DTS for change tracked by thegiven row in database structure 228); a CHANGED_BY field (entityinitiating change); an OLD field (value of the parameter as of theimmediately preceding, relative to point in time indicated by the valuein the CHANGE_DATE field, sample); a NEW field (value of the parameteras of the point in time indicated by the value in the CHANGE_DATEfield); and a TRANSACT_CTL_NUM field. Structure 702 can be used to trackthe history of changes to each of parameters for all of the assetstracked in ASSET_PARAMETER database structure 202.

The copies of the various instances of table 602′ in queue 173 can besequentially processed by a policy service 174 of server 102. Policyservice 174 can obtain an instance of new-vs-old table 602′ from queue173 and then evaluate the changed data in new-vs-old table 602′ againsteach policy that is activated for the given host-asset 16X. This can beiterative. In the context of FIG. 3B, such iteration is illustrated byloop 332.

Loop 332 of FIG. 3B is given the label “*[TBL_602′(i), I.ltoreq.R−1, FORR INSTANCES OF TBL_602].” Iteration of loop 332 will continue for eachTBL_602′(i) of queue 173 while (so long as) the variable, i, is lessthan or equal to R−1 (namely, i.ltoreq.R−1). The boundary R denotes thetotal number of instances of table 602′ in queue 173. Policy service 174gets a copy of table 602′(i) via message 334 to queue 173.

Before discussing loop 332 further, a discussion of policies isprovided. A policy can define as a condition of a given parameter eitherof the following: one or more potential values of a given parameter; orone or more values based upon the given parameter. When the condition ofa policy is satisfied, this is potentially indicative of unauthorizedactivity or manipulation of the given host-asset 16X upon which thepolicy has been activated.

As a first policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if the value of theCONNECTED_IP_ADDRESS parameter of ASSET_PARAMETER database structure 202is not one of the IP addresses on an approved list. If such a policy issatisfied, it could potentially (though not necessarily) indicateunauthorized actively on the given host-asset 16X.

As a second policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if an authorized user of aVPN (virtual private network) is logged in during normal business hours(where VPN usage is for this user is typically expected to be afterbusiness hours) and if the given host-asset is connected to theaccounting wireless domain (where the user is authorized only to accessthe engineering and sales domains). If such a policy is satisfied, itcould potentially indicate that a known user is engaging in unauthorizedactivity.

As a third policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if there is a change in theCPU_CNT parameter of ASSET_PARAMETER database structure 202. If such apolicy is satisfied, this could be indicative of one or more processorshaving been stolen from or added to the given host-asset 16X, Eithertype of change can indicate potential unauthorized manipulation of thegiven-host 16X, and the latter may potentially be a precursor offorthcoming unauthorized activity on the given host-asset 16X.

Discussion now returns to loop 332 of FIG. 3B and policy service 174. Toevaluate the changed data in new-vs-old table 602′ against each policythat is activated for the given host-asset 16X, policy service 174 cando the following: it can query policy DB 107 for all policies activatedfor the given host-asset 16X, e.g., by indexing according to the CE_IDvalue therefore; then it can build a condition-tree, e.g., innon-volatile memory 103B, for the condition of each policy that isactive for a given host-asset 16X; and then it can evaluate each row ofnew-vs-old table 602′ according to each condition-tree, which results ina violation table. An example of a violation table is depicted in FIG.8. In the context of FIG. 3B, policy service 174 queries for theactivated policies via message 336 to policy DB 107.

FIG. 8 depicts an activated policy table illustrating data relationshipsin a machine-actionable memory that represents which policies are activeon which of the various host-assets 16X, according to at least oneembodiment of the present invention.

More particularly, FIG. 8 depicts a policy information (or, in otherwords, an R_ID:POL_ID:CE_ID) table 802, illustrating data relationshipsin a machine-actionable memory, e.g., in policy DB 107, that mapspolicies to remediations, and also maps policies to assets. As such,policy information table 802 illustrates a particular type ofmachine-actionable memory arranged according to a particular datastructure.

Policy information (pol-info) table 802 includes the columns R_ID,POL_ID, ACT_ID and CE_ID. A value in the R_ID-column indicates anidentification (ID) of a remediation (R_ID) suited to remediating thecircumstances of a violated policy. A value in the POL_ID-columnindicates an ID of a policy (POL_ID). A value in the ACT_ID-columnindicates an ID of action or operation that automatically can be carriedout on a given host-asset 16X to at least in-part implement aremediation. A value in the CE_D-column indicates an ID of a givenhost-asset 16X.

An example of constraints upon Pol-info table 802 would be as follows:each policy can map to only one remediation; a remediation, however, canmap to one or more policies; each policy can map to one or more assets;etc. Pol-info table 802 can be created by the administrator ofarchitecture 100, and edited/expanded as policies change and/or areadded. Extending the example illustrated via the specific details ofnew-vs-old table 602′ in FIG. 6B, it is assumed in FIG. 9A that recordsdenoted by items 804 and 806 corresponding to the policies violated bythe data of the new-vs-old table 602′.

Returning to the context of FIG. 3B, at self-message 338, policy service174 builds the condition trees for those policies indicated by Pol-infotable 802 as being activated for the given host-asset 16X. For the sakeof discussion, it is assumed that each message 338 generates a total ofQ condition trees for Q activated policies. Next, at loop 340, policyservice 174 evaluates each condition-tree according to the values ofeach row of new-vs-old table 602′(i). Before discussing loop 340, adiscussion of condition trees is provided.

FIG. 9A is a diagram of a condition-tree 902, according to at least oneembodiment of the present invention. Condition-tree 902 depicts datarelationships in volatile memory 103B. As such, condition-tree 902depicts a particular type of machine-actionable memory, according to atleast one embodiment of the present invention. Condition-tree 902 is anat least two-level hierarchical tree structure that includes: a rootnode 904; and leaf node 906; and one or more optional leaf nodes 908.There can be N leaf nodes, where N is an integer and N.gtoreq.1. Whilenot limited to a specific maximum value, N typically will fall in arange 2.ltoreq.N.ltoreq.10.

Root node 904 can represent a logical operator, e.g., logical AND,logical OR, logical NOT, etc. leaf nodes 906 and 906 can be statementsrepresenting subconditions of the policy's condition. Stateddifferently, condition tree 902 is a representation of a condition thatitself is a collection of conditions. Evaluation of the statementsrepresenting the sub-conditions according to the values in a row ofnew-vs-old table 602′ yields an indication of the statement being trueor false, e.g., a logical one or a logical zero.

FIG. 9B is a diagram of a version 902′ of condition-tree 902, accordingto at least one embodiment of the present invention. In FIG. 9B, node908 is depicted as a multi-part node 908′, which can include: anintermediate node 910, that reports to root node 904; a sub-leaf node12; and one or more sub-leaf nodes 914. There can be P sub-leaf nodes,where P is an integer and P.about.1. Similarly, sub-leaf nodes 912 and914 can be statements representing sub-sub-conditions of thesub-condition represented by leaf node 908. And similarly, evaluation ofthe statements representing the sub-sub-conditions according to thevalues in a row of the new-vs-old table 602′ yields an indication of thestatement being true or false. One or more of sub-leaf nodes 912 and 914can be themselves be multi-part nodes, respectively.

Via the use of a condition tree 902/902′, a policy whose condition issatisfied when a collection of sub-conditions are coincidentallysatisfied can be quickly evaluated. Moreover, such condition-trees902/902′ can quickly and easily be configured and/or reconfigured.

In prior rule-based decision-making software, conditions of a rule aretypically represented in source code as if-then-else constructs, ratherthan as a machine-actionable memory. Coding of such constructs isrelatively more difficult, and as is revising such constructs. Inaddition, if-then-else constructs are sequential in nature. In contrast,condition-trees 902/902′ exploit the parallelism in a condition.Accordingly, condition trees 902/902′ are significantly faster onaverage to evaluate than a corresponding if-then-else construct.

Stated differently, condition-trees represent an object-orientedrepresentation, where the level of granularity is at the node-level(nodes are the objects) into which a condition is decomposed. Incontrast, while an if-then-else construct according to the BackgroundArt might be coded using a high-level object-oriented programminglanguage, at best the condition as a whole of the construct is treatedas the sole object. If-then-else constructs are less granularrepresentations of conditions than are condition-trees.

Returning to the first policy example, a corresponding condition-treecould have as simple leaf nodes reporting to the root node thesub-conditions CONNECTED_IP_ADDRESS=given_member_of_approved_list foreach member of the approved list. The root node for this condition treecould be a logical OR operator.

Returning to the second policy example, a corresponding condition-treecould have as the root node the logical AND operator, and as simple leafnodes reporting thereto the sub-conditions VPN_CONNECTION (true orfalse) and USER_VPN_AUTHORIZED (true or false). The condition tree couldalso have the following multi-part nodes reporting to the root node: thelogical AND operator as the intermediate node to which report simplesub-leaf nodes representing the sub-sub conditionsDOM_NAM=given_member_of_approved_list for each member on the list; andthe logical operator NOT as the intermediate node to which reports asimple sub-leaf node representing the sub-sub conditionNORMAL_VPN_WINDOW=time_range given_member_of_approved_list.

Returning to the third policy example, a corresponding condition-treecould have as the root node the local NOT operator, and as a simple leafnode reporting thereto the sub-condition CPU_CNT_NEW=CPU_CNT_OLD.

The ordinarily-skilled artisan will recognize other ways to constructcondition-trees for each of the first, second and third policy examples.In general, policy conditions are typically susceptible to a pluralityof constructions.

Similar to how an appropriate set of parameters will vary (again,depending upon the nature of the technology found in host-assets 16X,the granularity of information thereabout that is desired, etc.), so toowill vary the nature and complexity (e.g., the number of sub-conditionswhose satisfaction needs to coincide) of policy conditions. Moreover,the complexity of policies will also vary according to the desireddegree to which satisfaction of the policy is a precursor of forthcomingunauthorized activity on or manipulation of the given host-asset 16X. Inother words, condition complexity (and thus policy complexity) will varyaccording to how early a warning of potential forthcoming unauthorizedactivity or manipulation the administrator of architecture 100 desiresto receive.

Patterns of seemingly unrelated parameter values or changes in thevalues thereof can warn of or foreshadow potential forthcomingunauthorized activity or manipulation. In this respect, identifyingunauthorized activity or manipulation from a pattern of seeminglyunrelated parameter values is analogous to the differential diagnosis ofa patient's illness by a physician where the patient presents with aplurality of symptoms, many of which can seem unrelated.

Generally, the earlier the warning that is desired, the greater is thenumber of seemingly unrelated parameter values (or changes in the valuesthereof) that are included as factors of the condition. Hence, earlierwarnings typically dictate policies whose conditions concern arelatively greater number of parameters.

It should be noted that there can be one or more policies which have asthe sole condition, or as one or more of the sub-conditions thereof,either of the following definitions: one or more of the potential valuesdefined for the given parameter represent aberrations from normal valuesof the given parameter; or one or more of the potential values definedfor the given parameter represent normal values of the given parameter.Generally, the earlier the warning, the more likely it is that that thelatter definition (in which potential values representing normal values)will chosen for one or more sub-conditions of the policy.

A condition for a policy can include as one or more factors (or, inother words, describe) at least one of the following concerning at leastone parameter: existence; non-existence; a range of potential valuesthereof; change in the value thereof; no-change in the value thereof; amaximum amount of change in the value thereof; a minimum amount ofchange in the value thereof; a maximum potential value thereof; aminimum potential value thereof; being equal to a specific valuethereof; not being equal to a specific value thereof; presence on alist; absence from a list; etc.

Some additional examples of policies will be briefly mentioned. Again,satisfaction of the conditions of such policies can potentially beindicative of unauthorized activity or manipulation of the givenhost-asset 16X.

As a fourth policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if: the value of theBOOT_TIME parameter from of ASSET_PARAMETER database structure 202 isnot consistent with the value of the MOST_RECENT_SURVEY parameter ofASSET_PARAMETER database structure 202. Satisfaction of this conditionpotentially can indicate unauthorized manipulation of the system clockon the given host-asset 16X.

As a fifth policy example, consider a two-sub-condition policy which isviolated (or, in other words, whose condition is satisfied) if: theCPU_CNT parameter of ASSET_PARAMETER database structure 202 changes; andthe DHCP_ENABLED parameter of ASSET_PARAMETER database structure 202 istrue. Servers typically do not enable DHCP, using instead a static IPaddress. Where the given host-asset 16X is a server, satisfaction ofthis condition potentially can indicate that that a malefactor who addedthe processor to the server desires to keep the extra processorinvisible.

As a sixth policy example, consider a multi-sub-condition policy whichis violated (or, in other words, whose condition is satisfied) if: thevalue of the CPU_UTILIZATION parameter of ASSET_PARAMETER databasestructure 202 exhibits a spike; and there is a pattern that the value ofthe RAM_UTILIZATION parameter of ASSET_PARAMETER database structure 202exhibits a spike and then returns substantially to the previous value.Satisfaction of this condition potentially can indicate that a user ishiding use of some volatile memory and/or a rogue application isattempting to minimize the amount of time that it exposed.

As a seventh policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if: the value of theRAM_TOTAL parameter of ASSET_PARAMETER database structure 202 is lessthan a previous value. Satisfaction of this condition potentially canindicate unauthorized removal (e.g., theft) of volatile memory device(s)from the given host-asset 16X or that some of the volatile memory isdeliberately being hidden. Alternatively, if the value of the RAM_TOTALparameter increases, then this potentially can indicate unauthorizedaddition of volatile memory device(s) from the given host-asset 16X.

As an eighth policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if: the value of DOM_NAMparameter of ASSET_PARAMETER database structure 202 is a null value(indicating that the given host-asset 16X does not belong to thedomain); and the value of the USER_NAME parameter of ASSET_USER databasestructure 204 is not on a list of users approved for the givenhost-asset 16X. Satisfaction of this condition potentially can indicatean unauthorized user.

As a ninth policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if: the calculated value of ahard disk's size (which can be based upon the values of theSECTORS_PER_TRACK and TOTAL_TRACKS parameters of ASSET_HARD_DRIVEdatabase structure 210) does not substantially match the value of theCAPACITY parameter of ASSET_HARD_DRIVE database structure 210. If thereare a negligible number of bad sectors, then satisfaction of thiscondition potentially can indicate a portion of the hard disk storagespace is being hidden.

As a tenth policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if: the value of the GATEWAYparameter of ASSET_ROUTE_TABLE database structure 220 has changed fromthe preceding value, which is assumed to be a default value.Satisfaction of this condition potentially can indicate a communicationwhich a malefactor hopes will go unnoticed.

As an eleventh policy example, consider a policy which is violated (or,in other words, whose condition is satisfied) if: the value of theSERIAL_NUM parameter in ASSET_APPLICATION database structure 218changes. Where the unit having the change serial number is a processor,satisfaction of the condition potentially can indicate an unauthorizedswap of processors. Due to manufacturing tolerances, otherwise identicalinstances of processors can exhibit different tolerances to ambienttemperature; here, a malefactor could have swapped a processor with alower ambient temperature tolerance for a processor with higher ambienttemperature tolerance.

As a twelfth policy example, consider a policy which is violated (or, inother words, whose condition is satisfied) if: the DHCP_ENABLEDparameter of ASSET_PARAMETER database structure 202 is false. As noted,servers typically do not enable DHCP, but all other computer-baseddevices typically do enable DHCP. Where the given host-asset 16X is nota server, satisfaction of this condition potentially can indicate thatthat a malefactor has statically set the IP address of the givenhost-asset 16X in order to login to the network fraudulently as anotheruser.

As a thirteenth policy example, consider a policy which is violated (or,in other words, whose condition is satisfied) if: the value of thePROCESS_NAME parameter in ASSET_PROCESS database structure 212 is not ona list of processes approved for the given host-asset 16X. Satisfactionof this condition potentially can indicate processes that should not berunning on the given host-asset 16X.

As a fourteenth policy example, consider a policy which is violated (or,in other words, whose condition is satisfied) if: the value of thePRODUCT parameter of ASSET_APPLICATION database structure 218 is on alist of applications not approved for the given host-asset 16X.Satisfaction of this condition could indicate that an unwantedfile-sharing program, e.g., KAZAA, is installed irrespective of whetherit is running as a process.

As a fifteenth policy example, consider a policy which is violated (or,in other words, whose condition is satisfied) if: the value of theLOCAL_ADDRESS parameter of ASSET_NETSTAT database structure 226 includesa port value that is not on a list of ports approved for listening bythe given host-asset 16X. Satisfaction of this condition could indicatethat an unauthorized web server is running on the given host-asset 16X.

As a sixteenth policy example, consider a policy which is violated (or,in other words, whose condition is satisfied) if: the value of theDEVICE_TYPE parameter of ASSET_DEVICE_DRIVER database structure 224indicates that the driver is on list of unauthorized driver types, e.g.,including USB-type drivers. Some information security best practicescall for there to be no removable storage devices connected to networkedcomputers. An common example of a small, easily concealed removablestorage media is a USB-type memory stick. Satisfaction of this policy'scondition potentially can indicate that a removable storage device,e.g., USB-type memory stick, is connected to the given host-asset 16X.

As a seventeenth policy example, consider a policy which is violated(or, in other words, whose condition is satisfied) if: the value of agiven parameter, e.g., the PRODUCT parameter of ASSET_APPLICATIONdatabase structure 218, is absent from a list of permissible values; andthe value of the given parameter is absent from a list of impermissiblevalues. Satisfaction of this condition potentially can indicate thepresence of an entity, e.g., an application, on the given host-asset 16Xwhich the administrator of architecture 100 has yet to encounter.

Discussion now returns to loop 340 of FIG. 3B and policy service 174.Nested within loop 340 is a loop 342, and nested within loop 342 is aprerequisite-dependent group 346 of messages.

Again, at loop 340, policy service 174 evaluates each condition-treeaccording to the values of each row of new-vs-old table 602′(i). Loop340 of FIG. 3B is given the label “*[ROW(j), j.ltoreq.N−1, FOR N ROWS INTABLE 602′(i)].” Iteration of loop 332 will continue for eachTBL_602′(i) of queue 173 while (so long as) the variable, i, is lessthan or equal to R−1 (namely, i.ltoreq.R−1). Again, the boundary Ndenotes the total number of rows in table 602′(i).

Nested loop 342 of FIG. 3B is given the label “*[POLICY(h),h.ltoreq.Q−1, FOR Q POLICIES].” Iteration of loop 342 will continue foreach POLICY(h) for table 602(i) while (so long as) the variable, h, isless than or equal to Q−1 (namely, h.ltoreq.Q−1). Again, the boundary Ndenotes the total number of rows in table 602′(i). At self-message 344,policy service 174 applies policy(h) to row(j) of table 602′(i). Thennested group 346 is entered.

Group 346 of FIG. 3B is given the label “[IF POLICY(h) VIOLATED(CONDITION SATISFIED)],” which represents the pre-requisite to group346. Messages 348 and 350 are included in group 346. Messages 348 and350 occur if the prerequisite is met. More particularly, if self-message344 determines that policy(h) has been violated, then policy service canquery policy DB 107 for more information regarding policy(h), asindicated by message 348. Then policy service 174 can create a violationtable (to be discussed in more detail below), e.g., in volatile memory103B, to represent the additional information regarding policy(h).Creation of the violation table is represented by message 350. If theviolation table has already been created in a previous iteration of loop340, then policy service 174 appends the additional informationregarding policy(h) to the existing at message 350.

An example of a suitable violation table can be an adaptation ofnew-vs-old table 602′. Information that policy service 174 can add tonew-vs-old table 602′ can include: an ID of the policy (POL_ID) that wasviolated; and an ID of a remediation (R_ID) suited to remediating thecircumstances of the violated policy.

FIG. 4 depicts a violation table 402 illustrating data relationships ina machine-actionable memory that represent policies that have beenviolated, according to at least one embodiment of the present invention.In other words, violation table 402 illustrates a particular type ofmachine-actionable memory arranged according to a particular datastructure.

In violation table 402, each row can identify (and thus map between) apolicy that has been violated, the one or more parameters whose value(or values or changes therein) violated the policy, the new value (k)and at least the preceding corresponding value (k−1). Each row of table402 can include: a CE_ID field (as in new-vs-old table 602′); at leastone PARAM field (similar to new-vs-old table 602′); a NEW field (as innew-vs-old table 602′); at least one OLD field (similar to new-vs-oldtable 602′); a R_ID field; and a POL_ID field.

As noted above, policy service 174 can produce violation table 402 byadapting new-vs-old table 602′, e.g., appending IDs of the violatedpolicies (POL_IDs) and IDs of the associated remediations (R_IDs) to thecorresponding rows of the parameters responsible for the violations,respectively. Extending the example illustrated via the specific detailsof new-vs-old table 602′ in FIG. 6B, it is assumed in FIG. 4 thatpolicies concerning the parameters CPU_CNT and DOM_NAM have beenviolated. Accordingly, information from the records corresponding toitems 904 and 906 in R_ID:POL_ID:CE_ID table 902 has been appended tonew-vs-old table 602′ to form violation table 402. For simplicity ofillustration, values for the column labeled OLD(K−2) have not beendepicted, but such values could be present.

After completing violation table 402, policy service 174 can passviolation table 402 to an event service 176. Again, each row inviolation table 402 can be described as representing a remediation forthe given host-asset 16X. Server 102 can send remediations to the givenLWS 109 via event service 176 and a deployment service 178, e.g., asfollows.

For example, event service 176 can prepare an event object correspondingto each row of violation table 402. Thus, each event object represents aremediation for the given host-asset 16X. Event service 176 can passeach event object to a deployment service 178, which can prepare adeployment package for each event object and then send the respectivedeployment package to the given LWS 109 via communication service 170.

The above discussion can be summarized by referring to FIG. 5. FIG. 5 isa flow diagram illustrating a policy-based method of remediationselection, and a method of remediation deployment, according to at leastone embodiment of the present invention.

Flow in FIG. 5 begins at block 500 and proceeds to block 502, which hasthe label “policy-based analysis.” The preceding discussion hasdescribed a policy-based analysis that yields violation map 402. Thiscan be contrasted with what can be described as a vulnerability-basedanalysis.

Examples of vulnerability-based analysis are two related copendingapplications that are assigned to the same assignee as the presentapplication. The two related copending applications are: U.S. patentapplication Ser. No. 10/897,399 having a U.S. filing date of Jul. 23,2004; and U.S. patent application Ser. No. 10/897,402 that also has aU.S. filing date of Jul. 23, 2004. The entirety of the '399 patentapplication is hereby incorporated by reference. The entirety of the'402 patent application is hereby incorporated by reference.

From block 502, flow proceeds in FIG. 5 to decision block 504, whereserver 102 can, e.g., via event service 176, check whether any policiesactivated for the given host-asset 16X have been violated. For example,this can be done by event service 176 checking if violation table hasany non-null rows. If not, then flow can proceed to block 506 where flowstops or re-starts, e.g., by looping back to block 500. But if there isat least one non-null row in violation table 402, then can flow proceedto block 508, where event service 176 can create an event object (e.g.,EVENT) corresponding to each non-null row in violation table 402. Flowcan then proceed to decision block 510.

At decision block 510, server 102, e.g., via deployment service 178, candetermine whether to automatically deploy each event object. As each isproduced, event service 176 can pass the event object EVENT(i) todeployment service 178. Deployment service can then determine whetherthe object EVENT(i) should be automatically deployed, e.g., based uponan automatic deployment flag set in a record for the correspondingpolicy stored in policy DB 107. Alternatively, a field labeled AUTO_DEPcan be added to violation table 402, which would be carried forward ineach object EVENT(i). The administrator of architecture 100 can make thedecision about whether the remediation for a policy should beautomatically deployed.

If automatic-deployment is not approved for the remediationcorresponding to the violated policy of object EVENT(i), then flow canproceed to block 512 from decision block 510. At block 512, deploymentservice can present information about object EVENT(i) to, e.g., theadministrator of architecture 100, who can then decide whether or not todeploy the remediation. Flow proceeds to block 514 from block 512. Butif automatic-deployment is approved for object EVENT(i), then flow canproceed directly to block 514 from decision block 510.

At block 514 of FIG. 5, at time at which to deploy object EVENT(i) isdetermined. Flow proceeds to block 516, where a deployment packageD_PAK(i) corresponding to object EVENT(i) is prepared, e.g., as ofreaching the time scheduled for deploying object EVENT(i). Deploymentpackage D_PAK(i) can represent the remediation in anautomatically-machine-actionable format, e.g., (again) a sequence of oneor more operations that automatically can be carried out on the givenhost-asset 16X, e.g., under the control of its LWS 109. Again, suchoperations can be invoked by one or more machine-language commands,e.g., one or more Java byte codes. After deployment package D_PAK(i) iscreated at block 516, flow can proceed to block 518.

At block 518, deployment service 178 can send (or, in other words, push)deployment package D_PAK(i) to the given LWS 109. For example,deployment service 178 can pass deployment package D_PAK(i) tocommunication service 170. Then communication service 170 can sendD_PAK(i) to the given LWS 109 over, e.g., path 132. Flow can proceedfrom block 518 to block 520.

At block 520 in FIG. 5, deployment service 178 can monitor theimplementation upon the given host-asset 16X of the remediationrepresented by deployment package D_PAK(i). Such monitoring can becarried out via communication facilitated by communication service 170.

More particularly, interaction between deployment service 178 and thegiven LWS 109 (via communication service 170) can obtain moreinformation than merely whether deployment package D_PAK(i) wasinstalled successfully by the given LWS 109 upon its host-asset 16X.Recalling that a remediation represents one or more operations in anautomatically-machine-actionable format, it is noted that a remediationwill typically include two or more such operations. LWS 109 can providedeployment service 178 with feedback regarding, e.g., the success orfailure of each such operation.

From block 520, flow proceeds to block 522, where the flow ends.

It is noted that a bracket 548 is depicted in FIG. 5 that groupstogether blocks 500-522. And bracket 548 points a block diagram of atypical computer (also referred to as a PC) 550. Typical hardwarecomponents for computer 550 include a CPU/controller, an I/O unit,volatile memory such as RAM and non-volatile memory media such diskdrives and/or tape drives, ROM, flash memory, etc. Bracket 548 andcomputer 550 are depicted in FIG. 5 to illustrate that blocks 500-522can be carried out by computer 550, where computer 550 can correspond,e.g., to server 102, etc.

The methodologies discussed above can be embodied on a machine-readablemedium. Such a machine-readable medium can include code segmentsembodied thereon that, when read by a machine, cause the machine toperform the methodologies described above.

Of course, although several variances and example embodiments of thepresent invention are discussed herein, it is readily understood bythose of ordinary skill in the art that various additional modificationsmay also be made to the present invention. Accordingly, the exampleembodiments discussed herein are not limiting of the present invention.

What is claimed is:
 1. A method comprising: collecting, by an agentrunning on an endpoint system, information regarding aprogram-code-based operational state of the endpoint system;transmitting, by the agent, the information to a remote computer systemvia a network coupling the endpoint system and the remote computersystem in communication; and enforcing one or more security policies, bythe remote computer system, with respect to the endpoint system based onthe received information.
 2. The method of claim 1, further comprisingdetermining whether the program-code-based operational state of theendpoint system represents a violation of the one or more securitypolicies by evaluating, by the remote computer system, the receivedinformation with respect to the one or more security policies, whereineach security policy of the one or more security policies defines atleast one parameter condition violation of which is potentiallyindicative of unauthorized activity on the endpoint system ormanipulation of the endpoint system.
 3. The method of claim 2, furthercomprising when a result of the determining is affirmative, thencausing, by the remote computer system, the endpoint system to performone or more remediation actions.
 4. The method of claim 2, furthercomprising when a result of the determining is affirmative, thencausing, by the remote computer system, one or more selectedremediations to be deployed to the endpoint system based on theviolation.
 5. The method of claim 2, further comprising when a result ofthe determining is affirmative, then causing, by the remote computersystem, one or more actions or operations to be carried out on theendpoint system.
 6. The method of claim 4, wherein the one or moreactions or operations at least in part implement a precautionary measureto improve reliability, availability or survivability of the endpointsystem.
 7. The method of claim 4, wherein the one or more actions oroperations are suited to remediating circumstances of the violation. 8.The method of claim 3, further comprising maintaining, by the remotecomputer system, a policy database having stored therein a plurality ofsecurity policies, including the one or more security policies.
 9. Themethod of claim 8, further comprising maintaining, by the remotecomputer system, a remediation database having stored thereininformation regarding a plurality of remediation actions including theone or more remediation actions.
 10. The method of claim 2, wherein theviolation relates to existence or non-existence of a particularapplication on the endpoint system.
 11. The method of claim 2, whereinthe violation is based at least in part on a version of a particularapplication on the endpoint system.
 12. The method of claim 2, whereinthe violation is based at least in part on whether a patch associatedwith a particular application has been installed on the endpoint system.13. The method of claim 2, wherein the violation is based at least inpart on a version of an operating system or a type of the operatingsystem running on the endpoint system.
 14. The method of claim 2,wherein the violation relates to whether a particular process is runningon the endpoint system.